Faculty Policies & Procedures – FPPC Meeting

Date: March 17, 2006

Location: Penthouse CR1

Time: 7:30 – 9:30 a.m.

 

Attendance:

 

Members Present: Dr. Kathleen Berecek, Dr. Madelyn Coar, Dr. Donna Handley, Dr. Pat Greenup (Chair), Dr. Jeanne Hutchison, Dr. Eduardo Neiva, Dr. Janice Patterson, Mr. Tim Pennycuff, dr. Rose Scripa, Ms. Carolyn Walden, Dr. John Waterbor

 

Alternate Members Present: Dr. Loucrecia Collins

 

Members Absent With Notice: Dr. Theodore Benditt, Provost Eli Capilouto, Mr. Ed Kennedy, Dr. Mark Lockhart

 

Ex-Officio Members Present: None

 

Members Absent Without Notice: Dr. Philip Musa, Dr. Om Srivastava, Dr. Uday Vaidya

 

Guest: Mr. Chris Findley

 

Agenda Items:

 

  1. Call to Order:

 

The meeting was called to order at 7:40 a.m.

 

  1. Adoption of February 2006 Meeting Minutes:

 

The minutes of the February 17, 2006 FPPC meeting were approved with editorial corrections.

 

  1. Chair Report:

 

    1. Chair activities during the last month have been related to agenda items for this meeting and will be included in item discussions.
    2. Nominations Committee – Chair requested volunteers to serve as two members of the committee; John Waterbor and Jeanne Hutchison volunteered

ACTION ITEM: Chair Greenup will forward a letter of “charge” to the Nominations Committee to include the revised Operating Rules related to officers of the FPPC.

 

 

 

    1. Spiral bound copies of the March 17, 2006 UAB Faculty Handbook and Policies were distributed to FPPC members. Members were requested not to distribute information about availability because these copies are ONLY for the work by the FPPC members and not to be distributed to faculty members in academic units.

 

  1. Senate Report (Past-Chair of Faculty)

 

Chair Greenup reported that the FPPC recommendations for Faculty Handbook (refer to letters in February FPPC minutes) were presented to Senate with the distribution of Section 3.0 and Conflicts of Commitment Policy; all other current and FPPC recommendations files were available upon request for review if Senators wanted to review. Senators have been requested to review and be prepared to vote at the April Senate meeting.

 

Dr. Scripa indicated that some “titles” may have changed in the Section 3.8 and this will need to be checked. Mr. Findley reported that a search index of terms is being created to assist with searching for specific information in the online UAB Faculty Handbook and Policies.

 

The March 6, 2006 DRAFT (following) of the Periodic Career Developmental Review –Concept Proposal Draft was distributed to the FPPC members prior to this meeting. There was no new discussion of the revised DRAFT.

 

Periodic Career Developmental Review - Concept Proposal Draft

Faculty Senate Faculty Affairs Committee

March 6, 2006

Background and Goals

 

The University of Alabama at Birmingham currently has a plan for detailed evaluation of tenure-track faculty (section 2 of the UAB faculty handbook), but less specification has been previously available regarding the development of tenured faculty. The Faculty Affairs Committee of the Faculty Senate has been asked by the UAB President to evaluate the potential for periodic career developmental review.  Added interest in the concept on a national and state level has prompted reconsideration of the possibilities of a systematic periodic review of all faculty at our institution. The goal of the peer review committee would be to provide assistance to the faculty member for three years to help promote improved performance. Over the career of a faculty member, the availability of developmental resources such as in-depth mentoring on educational or research techniques, guidance on service participation, or master teacher training can be very valuable. Such resources can provide opportunities for the faculty to learn new teaching methods and new research techniques, and to gain an understanding of how to contribute to a system of faculty governance.

 

The objective of this Periodic Career Developmental Review plan is to promote development of tenured faculty. The addition of a peer component to existing annual evaluations should help identify areas for improvement, give constructive feedback, and provide recommendations for support for faculty development to those who have shown areas of need in the annual evaluation process by the department Chair.

 

The Senate FAC suggests a framework for the periodic career evaluations that would incorporate a selective peer component  into existing annual evaluation systems of faculty. The annual review of faculty should consider all areas of academic productivity, including teaching, administrative duties, and other services, and in appropriate departments, clinical productivity. Complete uniformity of the evaluation process is not suggested since the function and expectations of faculty members within individual departments vary, but it will be important to assure adequate evaluations across departments to ensure fairness and equity among the faculty.  Any effort within the university to develop a set of universal criteria for evaluation does not take into account the great diversity in local disciplinary cultures, and there is a need to recognize the diversity that exists within academia. Each discipline has highly specialized norms that are specific to its own notions of scholarship, and a Universal Report Card to assess faculty performance would run the risk of smoothing over these important differences. 

 

Therefore, the Senate FAC promotes a “peer” evaluation system that recognizes interdisciplinary variation in norms of academic scholarship. Each department will be responsible for creating a brief description of the expectations of its tenured faculty. The expectations must be approved by the departmental faculty and administration prior to implementation of the periodic career developmental review process. After approval of the expectations of tenured faculty, the department shall create a standing Periodic Career Review Committee, and the committee will elect its committee chair. It should be understood that the departmental description of expectations of tenured faculty must remain consistent with general University policies and goals and consider the guidelines of it respective academic school.

 

It is important to emphasize that a periodic career developmental review incorporates this “peer” component of review so that the process is not an administrative evaluation of a faculty member.  The notion of peer career review without an emphasis on development has the potential of being transformed for consideration of renewal issues and therefore could be used to erode the system of tenure. Emphasis must be placed on the developmental aspects of the peer review, and the process will not be a re-evaluation of tenure. Further, this periodic review cannot be used for consideration of termination of employment. The standard for grievance procedures and for dismissal within the UAB system will remain unchanged and not affected by the process.  

 

Individual units must spend the proper time and energy to develop their annual review process.  Effective written departmental annual reviews of faculty, with each unit establishing a systematic review process with clear expectations and written annual evaluations for their faculty, will operate as a useful mechanism by which departments can assist faculty in enhancing productivity and development. In addition, adequate detail of the criteria for annual evaluation will provide clarity  for any unsatisfactory evaluations.

 

 

Review Process

 

Annual peer  reviews of all tenured faculty is considered too resource—intensive for successful operational implementation.  Furthermore, such a process would be redundant, as all faculty are already being reviewed for annual salary raises, promotion, sabbaticals, appointments to graduate faculties, centers, and interdisciplinary programs, as well as when they are elected or appointed to school and university committees.  Structuring a peer component of review upon existing annual administrative reviews should allow for efficient use of resources, and yet provide a mechanism for evaluation and provision of assistance to the individuals who are most likely to benefit from additional career developmental support.

 

In order to avoid creating a large administrative burden, a selective or triggered peer component added to the existing annual review process would be implemented only for individuals who have perceived need of additional career support based upon their administrative annual reviews. It is recommended that two consecutive documented unsatisfactory administrative evaluations, as determined by the Chair, be used to trigger the peer review component.  Faculty who receive two  consecutive unsatisfactory administrative reviews will be notified in writing by the Chair within a two-week period that the peer review process is being initiated, and a peer committee will be convened within one month after the notification date.  Furthermore, a faculty member may request a review by the periodic career review committee to receive additional career development guidance, no more than once in a five-year period. However, if a large number of requests are submitted, the committee may need to select which faculty can most benefit from the process.

 

The composition of any peer review committee is important. Faculty within the same department as the individual being reviewed are likely to be the best candidates for providing useful, supportive peer review, since they have expertise in the discipline, and have an understanding of the expectations within the individual department. The committee would be comprised of 2 to 5 tenured peers selected by the Chair from within the department of the individual, if available.  The Chair will not be a member of the committee. At least half of the committee members will have rank of Professor within the department, if possible based on departmental faculty distribution and number. At least half of the members will be selected from an existing departmental peer review committee by the chair of the departmental peer review committee to assure consistency of the process. Also, a faculty member may request that members of another department within the academic unit be included in the peer committee.

 

In collaboration with the committee, the faculty member will create a 3-year individual development plan, to be approved by the peer review committee, the faculty member, and the Chair within four months of notification of the faculty member that the peer review process has been initiated. The plan will address specific measures and may include, but will not be limited to, evaluations by a departmental administrator, peer evaluations, and teaching evaluations by students. It is understood that adequate resources will be provided by the department, school, and university as a whole to the individual faculty member to facilitate improvement in any areas of deficient performance. Each year during the individual development plan, the peer committee will reevaluate the individual’s progress, and will provide written recommendations to the individual and the Chair.  The Chair will likewise provide an annual written assessment of the progress of the faculty member to the individual and the peer review committee. If the Chair, with agreement of the committee and faculty member, feel the plan is successfully completed, then the process may be stopped before the end of three years. At the conclusion of the individual development plan period, the committee will provide a written summary of the progress of the faculty member, to include a statement of whether the goals have been met. If the faculty member has completed the plan successfully then the periodic review process will be ended. If there are two subsequent unsatisfactory administrative annual evaluations, the triggered review can be reinitiated. A written summary of successful completion or unsuccessful result will be provided to the Chair, Dean, and Chair of the Faculty Senate. If the plan is unsuccessfully followed by the faculty member, the committee will recommend in writing any needed corrective action to the Chair and the Dean.

 

Participation by departmental faculty as members of a peer review committee should be considered a service to the department and institution.  Although there are time resources of other faculty members that would be used in this process, the potential to assist a fellow faculty member should be considered a worthy goal.

 

 

Quality Assurance

 

It should be understood that there are expectations that the Chairs will be adequately prepared to perform the evaluation process of their faculty.  Periodic training for Chairs regarding their requirements in the process will be provided by central administration as needed. Review of the evaluation process of each department should be periodically reassessed for quality by the Dean of the respective department after the first year then at a regular interval no greater than every five years. The review should also specifically ensure that no bias, discrimination, or unfair practices are allowed within the process.

 

 

Other Considerations

 

Due to the different expectations of faculty in different departments, the evaluation process must allow enough flexibility to account for the differences in daily work among different faculty. The importance of the academic freedom within departments, which has allowed the growth of UAB to its current standing, must be acknowledged.

 

It should be noted that within this document the title “departmental Chair” applies to an appropriate administrator who performs responsibilities similar to a departmental chair in the case that an academic unit does not have a person specified as departmental Chair.

 

 

 

 

  1. Old Business

 

    1. Operating Rules

 

The following version is the “tracking removed” version created after the addition of the March 17, 2006 meeting suggestions and the addition of the March 28, 2006 Handbook subcommittee revised report for the section describing “cycle review.”

 

DRAFT- DRAFT- DRAFT

OPERATING RULES

FACULTY POLICIES AND PROCEDURES COMMITTEE

 

Last Amended April 18, 2003

 

  1. Membership

 

    1. Attendance at Meetings – each member is expected to be present at each regular meeting and each called meeting of the Committee.

 

    1. Alternates for Members –

 

a.       When a member is unable to attend a meeting of the Committee and there were no other nominees on the ballot during the FPPC election process in each academic unit, the FPPC member may appoint an alternate from the constituency being represented provided the alternate holds regular full-time Faculty appointment. The member must give notice of appointment of an alternate to either the chair of the Committee or the Secretary in the Office of the Faculty Senate prior to the meeting at which the alternate will serve. At the designated meeting, the alternate will possess all the rights and privileges accorded to the member.

b.      When more than one name appeared on the Senate election process ballot for FPPC members, the approval voting process establishes that the person with the second highest number of votes is the next in line to serve as the FPPC representative and/or to serve as the alternate when the FPPC member is not able to attend/participate in the activities of the FPPC.

c.       NOTE: It is the responsibility of the FPPC member to identify an alternate who will communicate with the academic unit’s faculty to relay information about FPPC activities and to collect input on issues before the FPPC.

 

    1. Notice to Members for Excessive Meeting Absences- A member having two absences during any “Faculty Senate Year” (i.e., June to May) with no alternate present will be requested to identify an alternate to attend any future meetings that the elected member of the FPPC is not able to attend and will be reminded that the elected member serves as a representative of his/her school or library and representation requires an elected member or appointed alternate to be in attendance at the FPPC meetings. This is to assure that each academic unit has active representation at each of the FPPC meetings. Alternates are listed on the FPPC roster and receive the monthly mailings and email messages distributed to FPPC members.

 

 

    1. Member duties and responsibilities include: (a) attendance at FPPC meetings; (b) communication with constituents in his/her academic unit on a regular basis; (c) reporting to, or communication with, the academic unit’s Faculty Affairs Committee or comparable committee as defined in each of the schools/libraries; (d) participation with the subcommittee activities of the FPPC as needed.  NOTE: AT THE APRIL SENATE MEETING PROVOST CAPLIOUTO SUGGESTED THAT THE FPPC MEMBERS SHOULD BE COMMUNICATING WITH AND SEEKING INPUT FROM DEANS ON TOPICS DISCUSSED BY THE FPPC. THIS HAS NOT BEEN THE PRACTICE OF THE FPPC; DISCUSSION REQUIRED – THIS WOULD REQUIRE A CHANGE IN THE HANDBOOK AND THE SENATE BYLAWS

 

    1. Ex Officio Members

a.       The immediate Past Chair of the FPPC will serve a one year term as an ex officio member the year following the expiration of the term as Chair of the Committee. If the Chair serves a consecutive term, there will be no Immediate Past Chair serving as an ex officio member for that year.

b.      To assist in conducting the business of the Committee, the Chair may appoint ex officio members as required. These members will have the privilege of participating in the discussions of the Committee but may not make motions or vote. The ex officio members of the FPPC shall include a permanent non-voting representative from the Office of Counsel, the current Chair of the Faculty Affairs Committee of the UAB Faculty Senate and a representative responsible for UAB-wide human resource policy development.

 

    1. UAB Faculty Senate Constitution, Bylaws, and Standing Rules of the Faculty and Faculty Senate – August 2004 Edition – Section II.2. Faculty Policies and Procedures Committee

NOTE: The FPPC cannot independently modify the following section as the Senate Bylaws are responsibility of the Senate. The FPPC can make recommendations to the Senate for changes in the Section II.2 of the Senate Bylaws.

 

II.2. Faculty Policies and Procedures Committee

 

II.2.a. The Faculty Policies and Procedures Committee reviews existing university policies and procedures and considers changes to the UAB Faculty Handbook. Its recommendations concerning revisions to the UAB Faculty Handbook or to existing policies and procedures are forwarded to the Senate. The Senate must make final recommendations to the President and designee regarding changes to the UAB Faculty Handbook or to existing policies and procedures.

 

                        II.2.b. The Secretary of the Faculty, with the assistance of the Senate

                        Governance and Operations Committee, oversees the election of members

                        to the Faculty Policies and Procedures Committee. Membership of the

                        Faculty Policies and Procedures Committee will consist of the immediate

                        Past-Chair of the faculty, one person elected from each of the constituent

                        units, one faculty member selected by the President, and one faculty

                        member in the Provost office responsible for Faculty Affairs and

                        Development)  by the Provost.

                        Elected terms  are three years, with approximately one-third of the

                        membership being

                        replaced each year. Appointed terms are one year. Committee members

                        may be re-elected to serve, at most, two consecutive terms. In the event of

                        a vacancy before the expiration of a term the Executive Committee shall

                        appoint the person who received the next highest number of votes in the

                        election for the position. If there is no such person, the Elections

                        Committee shall solicit nominations from each school whose

                        representative is no longer serving and shall conduct an election to fill the

                        vacancy for the balance of the term. The committee must meet annually,

                        or more frequently as agreed upon by committee members. Its

                        deliberations and recommendations must be reported to the Senate. The

                        Chair of the committee is a faculty member (without academic

                        administrator position above that of Department Chair) elected by the

                        FPPC members and shall serve as an ex officio member of the Senate and

                        the Executive Committee of the Senate during his or her term in office.

 

                        The current Chair of the Senate Faculty Affairs Committee shall serve as

                        an ex officio member of the FPPC during his or her term of office.

                        The FPPC maintains the Operating Rules for the FPPC and the Chair of

                        the FPPC is responsible for updating the Appendix E – FPPC Operating

                        Rules section of the Senate Bylaws document (See Appendix E of the

                        Senate Constitution and Bylaws)

 

                       II.2.c. Election of nominees to the Faculty Policies and Procedures

                       Committee shall take place at the same time as the election of the faculty

                       officers and senators.

 

    1. Section 2.10.2 – FPPC as described in the UAB Faculty Handbook and

      Policies

 

                       NOTE: The FPPC cannot independently modify this section of the FPPC

                       Operating Rules. However, the FPPC can make recommendations for

                        revisions to the Senate. The following is the approved 2005 Section 2.10.2

 

                        2.10.2 UAB Faculty Policies and Procedures Committee

 

                         The Faculty Policies and Procedures Committee is charged with the

                         responsibility of providing advice, through the Faculty Senate, to the

                         President on the basis of a periodic examination of current and proposed

                         faculty policies and procedures at UAB. It reviews existing UAB policies

                         and procedures, which affect faculty, and considers changes to the

                         Faculty Handbook and Policies.

 

                         Membership of the Faculty Policies and Procedures Committee will

                         consist of the immediate past-chair of the Faculty Senate; one person

                         elected from each of the following units: Lister Hill Library of the Health

                         Sciences, Mervyn H. Sterne Library, Schools of Arts and Humanities,

                         Business, Dentistry, Education, Engineering, Health Related Professions,

                         Medicine, Natural Sciences and Mathematics, Nursing, Optometry, Public

                         Health, Social and Behavioral Sciences, and the Joint Health Sciences

                         Departments; one faculty member selected by the President; and one

                         faculty member in the Provost office responsible for Faculty Affairs and

                         Development) selected by the Provost. The Legal Counsel to UAB is ex-

                         officio, a non-voting permanent member of this committee.

 

                         The Secretary of the Senate, with the assistance of the Senate Governance

                         and Operations Committee, oversees the election of members to the

                         Faculty Policies and Procedures Committee. Each constituent unit must

                         elect one member to serve on the committee. The current Chair of the

                         Senate Faculty Affairs Committee shall serve as an ex officio member of

                         the FPPC during his or her term of office.

 

                         Appointments are for a term of three years, with approximately one-third

                         of the membership being replaced each year. Committee members may be

                         reelected to serve a maximum of two consecutive terms. The committee

                         shall meet at least annually, or more frequently as agreed upon by the

                         committee members, and the committee shall elect its own Chair from

                         among its members.

 

                         Recommendations from the committee concerning revisions to the UAB

                         Faculty Handbook and Policies or to existing policies and procedures are

                         forwarded to the Faculty Senate. The Faculty Senate must make final

                         recommendations to the President regarding changes to the UAB Faculty

                         Handbook and Policies or to existing policies and procedures.

 

 

 

  1. Faculty Handbook Duties of the FPPC Membership

 

    1. UAB Faculty Handbook and Policies Review Process

 

(1)   The Handbook should be continuously reviewed

(2)   The process of continuous review should involve a review of several portions of the Handbook each year

(3)   The review of each portion should be carried out by a group of two members of the FPPC, one from each side of campus, who will report to the FPPC whether anything they have reviewed requires further consideration by FPPC

(4)   The portion that each group reviews should be a relatively short section of the Handbook, such as section 4 or section 6; or a subpart or subparts of longer sections, such as section 2.3 or section 2.6, or sections 3.1 through 3.6; or one of the appendices

(5)   The review process should be divided so that the entire Handbook will be reviewed over a 5 year period (for example, it might be divided into 15 parts, with 3 reviewed each year)

 

Quite apart from the regular cycle of reviews described above, the FPPC should review any matter in the Faculty Handbook that any member of the faculty who is covered by the Handbook, or any authorized member of the administration, asks the FPPC to review.

 

The discussion on November 18, 2005 included the following:

 

        That handbook revisions will be ongoing with an electronic format

        The 5 year cycle should accomplish the regular review with a goal of a section per year completed by a subcommittee of 2 FPPC members and report to the full FPPC for any recommendations

        The process should be established with a timeline for the review so that the cycle of review is completed and review process not be left to the annual membership of the FPPC

        The FPPC should consider academic unit issues when faculty members within a unit identify questions or concerns for a section of the UAB Faculty Handbook and then the FPPC review the concerns

        That academic units identify some approach to differentiation of policies and procedures that are specific to unit and are more restrictive than the UAB Faculty Handbook. Provost Capilouto indicated that some units use “italics” in their handbook to identify the sections that are more specific than the UAB level handbook.

 

   ACTION: Jeanne Hutchison presented a motion that the FPPC accept the report from 

   the subcommittee and that the FPPC implement the recommended process. Mark

   Lockhart seconded the motion. This motion was approved.

 

    1. UAB Faculty Handbook and Policies Review Cycle

 

NOTE: This is the March 28, 2006 information from Handbook Subcommittee

 

The subcommittee recommends that the most recently reviewed portions of the Handbook be placed at the end of the five-year cycle.  This means placing most of section 2 in later years. 

 

The subcommittee does not recommend the review of the Introduction and Part I.

 

The subcommittee recommends that policies referred to in §8 be reviewed in conjunction with the sections of the Handbook in which they arise or are otherwise most suitable, with miscellaneous policies being assigned to the year in which the end of the Handbook is reviewed (which is year 2).

 

Year 1:  Introduction and part (i.e., section) 1; sections 2.10 through 3.14, and the following policies referred to in §8:

 

Acceptance of Benefits, Awards, and Prizes from External Entities (§3.4)

General Policy Concerning the Use and Consumption of Alcoholic Beverages (§3.8)

Computer Software Copying and Use Policy (§3.13)

Computer Software Policy [Development and Ownership] (§3.11)

Conflict of Commitment Policy (§3.5.3)

Conflict of Interest Policy (§3.5.3)

Consensual Romantic Relationships Policy (§3.8)

Drug-free Workplace Policy (§3.8)

Electronic Data Processing Security Policy (§3.12)

Policy Concerning Employee Falsification of UAB Records and Documents (§3.8)

Policy Concerning Firearms, Ammunition, and Other Dangerous Weapons (§3.8)

Indirect Cost Reimbursement Policy (§§3.3, 3.5.1, 3.5.2; also §5.4)

Policy Concerning the Maintenance of High Ethical Standards in Research and Other Scholarly Activities (§3.6)

Nonsmoking Policy (§3.8)

Patent Policy (Board of Trustees Rule 509) (§3.10)

Personal Services Approval and Payment Policy-UAB Employees (§3.5.2)

Political activities of University Personnel (Board of Trustees Rule 304) (§3.2)

Sexual Harassment Policy (§3.9)

 

Year 2:  Sections 4 through 7, and the following policies referred to in §8:

 

Policy Concerning AIDS and HIV Infection

Policy Concerning the Use of the UAB Campus Mail System

Equipment Accountability Policy

Family and Medical Leave of Absence Policy (§7.5.2)

Employee UAB-related Foreign Travel Policy (6.1.3)

Health Care Policy for International Students and Scholars (§4.1)

Information Disclosure and Confidentiality Policy (§5.2)

Purchasing Policies and Guidelines

Sick Leave Donation Policy (§7.3)

Use of UAB Resources by External Entities

 

Year 3:  Sections 2.1 through 2.5, and the following policies referred to in §8:

 

Equal Opportunity Policy (§2.1)

 

Year 4:  Section 2.6, and the following policies referred to in §8:

 

Hiring Approval Policy (§2.6)

Applications for Labor Certification (§2.6)

Policy Concerning the Re-employment of UAB Retirees (§2.6)

 

Year 5:  Sections 2.7 through 2.9 and Appendices A, B, and C

 

 

 

  1. Chair – Election and Duties

 

    1. Term – The term of the Chair shall be from June Meeting to June Meeting at which meeting the retiring chair will serve until the new Chair is elected.
    2. Number of Terms – No person may serve more than two consecutive terms as Chair.
    3. Appointment of Nominating Committee – Prior to the March Meeting, the Chair shall request from the FPPC membership the names of  two FPPC members to serve on the Nominating Committee for the purpose of presenting nominations for the positions of Chair and Vice- Chair at the June Meeting.
    4. Election of Chair – June Meeting

       Nominees will be asked to prepare a statement of background and interest

       in service to share with FPPC members prior to the June election meeting

       Members may make additional nominations at the June meeting.

       Nominees must be members of the FPPC and typically will have served at

       least the preceding year on the FPPC. 

 

5.  Balloting – election of the Chair shall be conducted at the June Meeting by

     secret ballot using approval voting. Tie votes shall be decided by the flip of

     a coin. Refer to the Section E. Nominating Committee below.

 

6.      Voting Privileges – Votes by the Chair will be in accordance with Robert’s Rules of Order (latest Revision).

 

7.      FPPC Chair Communications with Chair of Faculty/Senate – the FPPC Chair is responsible for preparing cover letter and copy of any recommendations that the FPPC is forwarding to the Senate. These documents must be copied to the Secretary of the Faculty, the Senate Office Associate (entered in the FPPC tracking log) and the Past-Chair of the Senate who is currently serving on the FPPC. The Chair must finalize all recommendations and proposed changes to any section of the Faculty Handbook prior to forwarding to the Senate. All FPPC letters (recommendations to the Senate) must be attached to the minutes of the FPPC meeting when the decision was made to forward the recommendation to the Senate.

 

8.  Chair Duties - The FPPC Chair elected at the June meeting of each year

     annually invites a representative of the Office of Legal Counsel (a

     permanent member of the FPPC as defined in Section 2.10.2 of the Faculty

     Handbook [see Section 6 of these Operating Rules] to serve as ex officio

     members of the FPPC during the June to May term.

 

                 9.   Chair Duties -The FPPC Chair adds the name of the current Chair of the

                       Faculty Affairs Committee of the Faculty Senate to the FPPC roster and

                       assures that the monthly meeting materials are mailed to the Chair of the

                       Faculty Affairs Committee. The Chair of the Faculty Affairs Committee

                       serves as an ex officio member of the FPPC and assures a link of

                       communication related to faculty affairs concerns addressed by the Faculty

                       Senate.

      

10.      Chair Duties -The FPPC Chair is invited by the Chair of the Faculty to

         serve as an ex officio member of the Executive Committee of the Faculty

         Senate and attends the monthly meetings of the Executive committee and

        the monthly meetings of the Senate Executive Committee with the

           President and the Provost. (Refer to Senate Bylaws for this role of the

           Chair in Section 6. II.2.b.)

 

  1. Vice-Chair – Election and Duties

 

    1. Term – The term of Vice-Chair shall be from June Meeting to June Meeting.
    2. Number of Terms – No member of the FPPC may serve more than two consecutive terms as Vice-Chair.
    3. Balloting – election shall be conducted by the Nominating Committee and at the same time as the Chair election.
    4. Voting Privileges – the Vice-Chair shall have full voting privileges as a member of the FPPC.
    5. Duties of Vice-Chair

 

·        Serve as Chair in absence of Chair

·        Take minutes(using the Minutes Template described in Section 10 of these Operating Rules)  of the FPPC meetings and prepares the DRAFT Minutes to be reviewed by the Chair and the Office Associate before distribution to the FPPC members

·        Assist Chair with action items and follow up from meetings such as forwarding FPPC recommendations to the Senate Office Associate, Chair of the Faculty and the Senate Secretary; notify the Office Associate when items forwarded that need to be entered in the FPPC tracking log (such as letters to the Senate or other correspondence which needs tracking to assure that reply or feedback is received by the FPPC)

·        Monitor attendance of representatives and/or alternates at the FPPC meetings. Refer to Section A of these Operating Rules.

·        Assist with development of agenda for FPPC meetings

·        Monitor online UAB Faculty Handbook and Policies and the You and UAB Handbook to notify the FPPC of any updates to postings for each FPPC meeting.

                 

  1. Nominating Committee

 

                  1.  Membership –Two currently serving members of

                       the FPPC identified by the March meeting. The chair of the

                       Nominating Committee shall be determined by the two members of the

                       committee.

               

                  2.  Duties of Nominating Committee members

 

·        Solicit nominations for the positions of Chair andVice-Chair of the FPPC.

·        Seek two nominees for each position and complete ballot slate by May 15 of each year.

·        Request from nominees [Chair and Vice-Chair], a statement of background and interest in service and forward this information to the Senate Office Associate by May 31 of each year for distribution to FPPC members [returning and new] prior to June FPPC meeting.

·        Conduct the election at the June FPPC meeting using secret ballot and approval voting.

·        Report the results at the June FPPC meeting.

 

  1. Meetings

 

    1. Regular Meetings – regular meetings of the Committee shall be held on the third Friday of each month except when the FPPC needs to attempt to avoid a meeting within the same week as the Faculty Senate.
    2. Cancellation of a Regular Meeting – the Chair may cancel a regular meeting, except in the month of June, when it is deemed that there is insufficient business to warrant holding the meeting.
    3. Called Meetings – The Chair or any five members of the Committee may call a meeting of the Committee upon ten-calendar days written notice to the other members of the Committee.
    4. Quorum for Regular Meetings – The members and alternates present at a regular meeting of the Committee shall constitute a quorum.
    5. Quorum for Called Meetings – The quorum for a called meeting shall be a majority of members and their alternates.
    6. Meeting announcements and packets with minutes/attachments shall be forwarded to all FPPC members and the administrative assistant for Associate Provost and Provost who request to receive the packets and meeting notifications.
    7. Meeting announcements via email shall be sent to all FPPC members at least 48 hours prior to the meeting to remind members of the meeting.
    8. Any updates that appear in the UAB Reporter related to UAB Policies and changes in the UAB Faculty Handbook or the YOU & UAB Handbook shall be retained in the files for the FPPC in the Faculty Senate office.
    9. FPPC Meeting agenda template may include the following subheadings:

a.       Call to order

b.      Adoption of Minutes for pervious meeting

c.       Chair Report

d.      Senate Report – status of items submitted to Senate by FPPC – Senate Representative to FPPC

e.       Old Business- including action items from previous meetings

f.        New Business

g.       Presentation of Information Items

h.       Review of Action Items Resulting from Meeting – identify the action needed, who will perform and the date by which task is to be completed

i.         Action Items from Previous Meetings – Record of Status Related to Action – List Must Include Letters to be Prepared by Chair and Record of Action and Tracking

j.        Materials Distributed Electronically

k.      Materials Distributed as Hard Copy at Meeting

l.         Announcements – to include next meeting date, time and location

m.     Adjournment

                

    1. FPPC Meeting Minutes Template – The meeting minutes template should be similar to the agenda template (refer to item 9.0 above) as a guide and the minutes of each meeting should reflect the subheadings of the specific meeting’s agenda. All letters prepared by the Chair (sent to Senate and matters related to FPPC functions) must be attached to the minutes of the meeting when the decision is made for the request for action by the Senate for information required by the FPPC.

 

a.        Call to order

b.      Adoption of Minutes for pervious meeting

c.       Chair Report

d.      Senate Report – status of items submitted to Senate by FPPC – Senate Representative to FPPC

e.       Old Business- including action items from previous meetings

f.        New Business

g.       Presentation of Information Items

h.       Review of Action Items Resulting from Meeting – identify the action needed, who will perform and the date by which task is to be completed

i.         Action Items from Previous Meetings – Record of Status Related to Action – List Must Include Letters to be Prepared by Chair and Record of Action and Tracking

j.        Materials Distributed Electronically

k.      Materials Distributed as Hard Copy at Meeting

l.         Announcements – to include next meeting date, time and location

m.     Adjournment

 

 

 

 

 

Sections A-C were approved by the FPPC on June 18, 1999 by 2/3 votes of the members. Sections A and C were amended on April 19, 2002 by a 2/3 votes of the members. Sections A-C were amended by 2/3 votes of the FPPC members on April 18, 2003.

 

  1. Email voting

 

    1. The Chair may initiate an email vote when he/she deems that an issue requires action prior to the next regular meeting of the Committee.
    2. This procedure is not intended to replace a regular meeting of the Committee and should be used in rare situations.
    3. Email votes will be accepted from members (or alternates) but ex-officio members are encouraged to provide feedback to the Committee and/or to the Chair in the same sense that they participate in discussion at regular meetings.
    4. The deadline for members to respond to the vote request will normally be at least 2 weeks from the date the email is sent by the Chair.
    5. The Chair should attempt to ensure that all members receive notification of the email vote.
    6. In an effort to ensure that discussion will not be limited or circumvented by use of the email vote, if any member votes in the negative, the vote is halted. The issue is then placed on the agenda for discussion at the next regular meeting of the Committee.
    7. The vote will be tabulated and certified by the Chair and reported at the next regular meeting.

 

Section D Email voting was approved by the FPPC on March 16, 2001 by 2/3 vote of the members.

 

 

RESOLUTION by the FACULTY POLICIES AND PROCEDURES COMMITTEE

 

                        Whereas the Governance and Operations Committee of the Faculty Senate at its Meeting on April 7, 1999, in response to a request from the Faculty Policies and Procedures Committee by “Bylaw amendments to monitor absences and designate a ‘faculty alternate’,” did state that “it was within the prerogative of the Chair of any Senate standing committee, in conjunction with its members, to establish the committee’s operating rules” and

 

                         Whereas the Bylaws of the Faculty and Senate (Article II, Section 2, Sub-Section (c) provide for the election of the Chair of the Faculty Policies and Procedures Committee by the Committee and

 

                          Whereas the Bylaws of the Faculty and Senate (Article II, Section 2, Sub-Section (c) provides latitude to the Faculty Policies and Procedures Committee in the establishment of meetings,

 

                            NOW THERFORE BE IT RESOLVED that the Faculty Policies and Procedures Committee hereby establishes, by a two-thirds vote, the following Operating Rules relative to membership, Chair, and meetings and

 

                            BE IT FURTHER RESOLVED that amendment of these Operating Rules may be achieved only by a two-thirds vote of the voting membership of the Faculty Policies and Procedures Committee.

 

Passed the 18th day of June 1999.

 

 

ACTION ITEM: Chair Greenup will place this revised version (April 15, 2006 date) of the Operating Rules on the agenda for the April 21, 2006 FPPC meeting.

 

    1. Subcommittee – Family Friendly Policies

 

The following document was distributed for discussion.

 

FPPC Sub-committee on Family Friendly Policies

Friday, February 17, 2006, 12:00 PM

Administration Bldg. Room 901

 

Present:            Madelyn Coar, Chair                            Rose Scripa

                        Pat Greenup, FPPC Chair                    Eduardo Neiva

                        Janice Patterson                                    Philip Musa

 

The following represents our final draft of the tenure-related policy recommendations by this subcommittee.  Please review them carefully, and let me know of any additions, corrections, changes, deletions that may be needed.  Following any necessary amending, these will be presented to the FPPC at the next meeting in March.  I will forward any changes to you for consensus before that time.

 

Please accept my deepest gratitude for your efforts and your perseverance!  We reviewed huge amounts of material, and accomplished a tremendous amount of work in the past weeks.  Most importantly, we have recommended changes that should prove favorable to faculty recruitment and retention at UAB.  It has been a true pleasure to work with you!!

************************************************************************                        The subcommittee recommends the following family-friendly amendments to current policy language: 

 

I)          Following Section 2.6.6.4 Length of Tenure-earning Period,

 

add Section 2.6.6.4.1  Extension of tenure-earning period

 

UAB recognizes that compelling circumstances might significantly impact an individual’s ability to fully  pursue all of  his/her teaching and scholarly activities, but not prevent continued paid employment or require the faculty member to take a leave of absence.  Such circumstances could include but are not limited to:

-         childbirth , adoption of a child, or foster care placement

-         severe personal illness

-         significant obligations to a member of the family or household

-    significant professional opportunities

Interested faculty must present a request in writing to the appropriate chair and dean of their unit.  If approved at the unit level, such requests require final approval of the Provost.   Extensions will be for one year per circumstance.  

 

 

II.         To Section 2.3.1, Tenure-earning and Tenured Faculty, following the last sentence, add the following paragraph:

 

However, under special, exceptional circumstances, a tenured faculty member may require a temporary (short-term) reduction in work-load and may request a change in status from full-time tenured to part-time without loss of tenure.  Such circumstances could include but are not limited to:

-         childbirth , adoption of a child, or foster care placement

-         severe personal illness

-         significant obligations to a member of the family or household

Such a change to part-time status will involve a proportionate reduction in pay and associated benefits.  Part-time status may be granted for up to six months, and upon request, may be reviewed and renewed for up to a total of one year.  All requests require approval by the chair and dean or library director, with final approval by the Provost.

 

           

FPPC Action – following discussion the FPPC approved these two recommendations and that the recommendations be forwarded to the Faculty Senate Chair Anderson.

 

             ACTION ITEM:  Chair Greenup will prepare letter to Chair Anderson to

             include FPPC request that the Senate review and approve the recommended 

             additions to Section 2.6.6.4.1 and Section 2.3.1 for forwarding to Provost

             Capilouto.

 

 

 

 

             The following letter was sent to Chair Anderson: Faculty Senate

 

March 29, 2006

 

MEMORANDUM

 

To: Chair of the Faculty Peter Anderson

 

From: Chair of the Faculty Policies and Procedures Committee, Pat Greenup

 

Re: Recommendations to the Senate from the FPPC for revisions to subsections of Section 2.0 of the UAB Faculty Handbook and Policies

 

At the March 17, 2006 meeting of the Faculty Policies and Procedures Committee (FPPC), the following changes to the Section 2.0 document of the UAB Faculty Handbook and Policies were approved so that recommendations would be forwarded to the Faculty Senate for review and approval and forwarding to the Provost.

 

These two recommendations have been discussed extensively in perspective of family-friendly concerns as related to faculty recruitment and retention concerns for the UAB university community.

 

  1. Extension of tenure-earning period – Section 2.6.6.4 Length of Tenure-earning Period

 

The FPPC recommends that following the fourth paragraph of Section 2.6.6.4 Length of Tenure-earning Period, that the following subsection be added:

 

Section 2.6.6.4.1 Extension of tenure-earning period

 

“UAB recognizes that compelling circumstances might significantly impact an individual’s ability to fully pursue all of his/her teaching and scholarly activities, but not prevent continued paid employment or require the faculty member to take a leave of absence.  Such circumstances could include but are not limited to:

-         childbirth , adoption of a child, or foster care placement

-         severe personal illness

-         significant obligations to a member of the family or household

-    significant professional opportunities

Interested faculty must present a request in writing to the appropriate chair and dean of their unit.  If approved at the unit level, such requests require final approval of the Provost.   Extensions will be for one year per circumstance.”

 

The University of Alabama at Birmingham

200 Burleson Building – 909 South 18th Street

Birmingham, Al 35294-4370 (205) 934-6619 Fax (205) 934-6834

        B.  Section 2.3.1 Tenure-earning and Tenured Faculty

 

              The FPPC recommends that following the current paragraph in Section 2.3.1 that

              a second paragraph be added to read:

 

“However, under special, exceptional circumstances, a tenured faculty member may require a temporary (short-term) reduction in work-load and may request a change in status from full-time tenured to part-time without loss of tenure.  Such circumstances could include but are not limited to:

-         childbirth , adoption of a child, or foster care placement

-         severe personal illness

-         significant obligations to a member of the family or household

Such a change to part-time status will involve a proportionate reduction in pay and associated benefits.  Part-time status may be granted for up to six months and upon request, may be reviewed and renewed for up to a total of one year.  All requests require approval by the chair and dean or library director, with final approval by the Provost.”

 

            The FPPC recommends that the Senate after review and discussion give positive support to these two recommendations for changes to the Section 2.0 of the UAB Faculty Handbook and Policies so that these recommendations will be forwarded to the Provost. It is the position of the FPPC that these changes are needed to support current faculty and to support the academic units as faculty recruitment and retention issues are addressed.

 

If you require additional information please contact me at greenup@uab.edu or 4-5995. Your assistance to the FPPC is appreciated.

 

Cc: Ted Benditt, Past-chair of Senate/FPPC Representative 2005-06

 

 

Discussion by FPPC members indicated that the Subcommittee needs to continue to work on “active service modified duties” policy recommendations related to tenure track faculty.

 

ACTION ITEM:  Madelyn Coar will continue the meeting of the Subcommittee group to address the active service modified duties issues and prepare recommendations to the FPPC.

          

 

    1. Subcommittee – Handbook

 

        The following report was distributed prior to the March 17, 2006 meeting.

 

Proposed division of UAB Faculty Handbook so as to achieve complete review

over a five-year period.

The subcommittee recommends that the most recently reviewed portions of the Handbook be placed at the end of the five-year cycle.  This means placing most of section 2 in later years. 

 

The subcommittee does not recommend the review of the Introduction and Part I.

 

The subcommittee recommends that policies referred to in §8 be reviewed in conjunction with the sections of the Handbook in which they arise or are otherwise most suitable, with miscellaneous policies being assigned to the year in which the end of the Handbook is reviewed (which is year 2).

 

Year 1:  Sections 2.10 through 3.14, and the following policies referred to in §8:

 

Acceptance of Benefits, Awards, and Prizes from External Entities (§3.4)

General Policy Concerning the Use and Consumption of Alcoholic Beverages (§3.8)

Computer Software Copying and Use Policy (§3.13)

Computer Software Policy [Development and Ownership] (§3.11)

Conflict of Commitment Policy (§3.5.3)

Conflict of Interest Policy (§3.5.3)

Consensual Romantic Relationships Policy (§3.8)

Drug-free Workplace Policy (§3.8)

Electronic Data Processing Security Policy (§3.12)

Policy Concerning Employee Falsification of UAB Records and Documents (§3.8)

Policy Concerning Firearms, Ammunition, and Other Dangerous Weapons (§3.8)

Indirect Cost Reimbursement Policy (§§3.3, 3.5.1, 3.5.2; also §5.4)

Policy Concerning the Maintenance of High Ethical Standards in Research and Other Scholarly Activities (§3.6)

Nonsmoking Policy (§3.8)

Patent Policy (Board of Trustees Rule 509) (§3.10)

Personal Services Approval and Payment Policy-UAB Employees (§3.5.2)

Political activities of University Personnel (Board of Trustees Rule 304) (§3.2)

Sexual Harassment Policy (§3.9)

 

Year 2:  Sections 4 through 7, and the following policies referred to in §8:

 

Policy Concerning AIDS and HIV Infection

Policy Concerning the Use of the UAB Campus Mail System

Equipment Accountability Policy

Family and Medical Leave of Absence Policy (§7.5.2)

Employee UAB-related Foreign Travel Policy (6.1.3)

Health Care Policy for International Students and Scholars (§4.1)

Information Disclosure and Confidentiality Policy (§5.2)

Purchasing Policies and Guidelines

Sick Leave Donation Policy (§7.3)

Use of UAB Resources by External Entities

 

Year 3:  Sections 2.1 through 2.5, and the following policies referred to in §8:

 

Equal Opportunity Policy (§2.1)

 

Year 4:  Section 2.6, and the following policies referred to in §8:

 

Hiring Approval Policy (§2.6)

Applications for Labor Certification (§2.6)

Policy Concerning the Re-employment of UAB Retirees (§2.6)

 

Year 5:  Sections 2.7 through 2.9 and Appendices A, B, and C

 

                        ACTION ITEM: The Handbook Subcommittee report will appear on the

                        agenda for the April 21, 2006 FPPC meeting.

                        Note:

Discussion of this topic was deferred to the April meeting. Chair Greenup requested Carolyn Walden to review concerns about the Handbook report recorded in the February 17, 2006 FPPC minutes and update the FPPC prior to the April meeting.

 

                       ACTION ITEM: Carolyn Walden will communicate with Ted Benditt

                       concerning the questions identified by Chair Greenup and the Introduction

                       and Part I language in the Cycle Review recommendation from the

                       Subcommittee.

 

    1. Subcommittee – Intellectual Property/Student Awareness

 

Dr.Berecek reported that the Subcommittee had not met but a meeting was being planned.

 

                        Action Item: Chair Berecek will call a meeting and continue the

                        discussions of items and exam the Ethical Standards of Research Policy.

 

 

  1. New Business

 

The following document was presented to the FPPC members and members were requested to be prepared to discuss at the April 17, 2006 FPPC meeting.

 

TO: FPPC Members

From: Pat Greenup, Chair of FPPC

Date: 2-18-06

RE: Topic Presented at the February FPPC meeting in conjunction with Periodic Career Review Proposal from FAC to Senate on February 14, 2006

 

2.6.3.7 Annual Faculty Evaluations

            The department chair or division director (School of Medicine only) is responsible for conducting an annual evaluation of all regular faculty (non-tenure-earning, non-tenured, tenure-earning, and tenured) to discuss such topics as the faculty member’s professional development, to provide feedback concerning performance and productivity, to discuss departmental goals and to discuss ways in which the department and the faculty member can work cooperatively to assist the faculty member in achieving his/her professional goals.

             The chair is responsible for maintaining an activity file for each faculty member that documents faculty activities in the area of teaching, research/scholarly activity, and service. This file is to be updated at least once a year on the basis of information furnished by the department chair and the faculty member.

Questions for FPPC members to consider: Discussions will be held at future FPPC meetings.

 

  1. What are the criteria utilized for the evaluation process?
  2. Who writes and approves the criteria utilized for the evaluation process?
  3. How can this Section 2.6.3.7 be strengthened to support the proposed Periodic Career Developmental Review – Concept Proposal Draft?
  4. Does a chair have the right to independently establish criteria and/or change the criteria during the yearly cycle for evaluation?
  5. What is the process when a new chair is appointed during the yearly cycle?
  6. How this evaluation processed be achieve procedural fairness and justice?

 

ACTION ITEM: Chair Greenup will place the Annual Evaluation Section 2.6.3.7 and questions (see Section F of these minutes) on the agenda for the April 21, 2006 FPPC meeting.

 

 

 

 

  1. Presentation of Informational Items:

 

No report was available for this meeting.

 

 

 

 

  1. Review of Action Items for March FPPC Meeting

 

·        ACTION ITEM: Chair Greenup will forward a letter of “charge” to the Nominations Committee to include the revised Operating Rules related to officers of the FPPC.

 

 

·        ACTION ITEM: Chair Greenup will place this revised version (April 15, 2006 date) of the Operating Rules on the agenda for the April 21, 2006 FPPC meeting.

 

 

·        ACTION ITEM:  Chair Greenup will prepare letter to Chair Anderson to include FPPC request that the Senate review and approve the recommended  additions to Section 2.6.6.4.1 and Section 2.3.1 for forwarding to Provost Capilouto.

 

 

·        ACTION ITEM:  Madelyn Coar will continue the meeting of the Subcommittee group to address the active service modified duties issues and prepare recommendations to the FPPC.

         

·        ACTION ITEM: The Handbook Subcommittee report will appear on the agenda for the April 21, 2006 FPPC meeting.

                                    Note:

Discussion of this topic was deferred to the April meeting. Chair Greenup requested Carolyn Walden to review concerns about the Handbook report recorded in the February 17, 2006 FPPC minutes and update the FPPC prior to the April meeting.

 

·        ACTION ITEM: Carolyn Walden will communicate with Ted Benditt concerning the questions identified by Chair Greenup and the Introduction and Part I language in the Cycle Review recommendation from the Subcommittee.

 

·        ACTION ITEM: Chair Berecek will call a meeting and continue the discussions of items and examine the High Ethical Standards of Research Policy.

 

 

·        ACTION ITEM: Chair Greenup will place the Annual Evaluation Section 2.6.3.7 and questions (see Section F of these minutes) on the agenda for the April 21, 2006 FPPC meeting.

 

 

 

  1. Review of Action Items from Previous Monthly Meetings – identification of pending items

 

·        February 17, 2006 – Chair Greenup will contact Provost Capilouto/Glenna Brown to obtain information as to who determines which policies are faculty-related and forwarded to the Senate/FPPC.

·        January 2006 – Chair Greenup will follow up with Cheryl Locke and Kris Findlay for future interactions between HR and the FPPC and how to establish working communications.

 

                NOTE:  All previous Action Items recorded in FPPC minutes during June 2005

                – February 2006 have been completed.

 

 

  1. Materials Distributed to FPPC Members Electronically Prior to Meeting

 

    1. Agenda
    2. DRAFT Minutes of February 17, 2006 FPPC meeting
    3. DRAFT Operating Rules 2-17-06 version
    4. Handbook Subcommittee Report (# 3 doc)
    5. Annual Evaluation Process Section 2.6.3.7
    6. Subcommittee Family Friendly Policies – tenure status
    7. Revised DRAFT – Periodic Career Review proposal

 

  1. Materials Distributed at the Meeting

 

    1. Annual Evaluation Process Section 2.6.3.7
    2. Subcommittee Family Friendly Policies – tenure status

 

  1. Announcements

 

             The next meeting of the FPPC is April 21, 2006 in Penthouse CR1

 

  1. Adjourned

 

The meeting was adjourned at 9:35 a.m.